0001766526-19-000020.txt : 20190515
0001766526-19-000020.hdr.sgml : 20190515
20190515200617
ACCESSION NUMBER: 0001766526-19-000020
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190513
FILED AS OF DATE: 20190515
DATE AS OF CHANGE: 20190515
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SHERMAN A HAAG
CENTRAL INDEX KEY: 0001283832
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38910
FILM NUMBER: 19830342
MAIL ADDRESS:
STREET 1: 600 TRAVIS STREET, SUITE 5900
CITY: HOUSTON
STATE: TX
ZIP: 77002
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Tectonic Financial, Inc.
CENTRAL INDEX KEY: 0001766526
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 820764846
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 16200 DALLAS PARKWAY, SUITE 190
CITY: DALLAS
STATE: TX
ZIP: 75248
BUSINESS PHONE: 972-720-9000
MAIL ADDRESS:
STREET 1: 16200 DALLAS PARKWAY, SUITE 190
CITY: DALLAS
STATE: TX
ZIP: 75248
FORMER COMPANY:
FORMER CONFORMED NAME: T Acquisition, Inc.
DATE OF NAME CHANGE: 20190131
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2019-05-13
0
0001766526
Tectonic Financial, Inc.
TECTP
0001283832
SHERMAN A HAAG
C/O TECTONIC FINANCIAL, INC.
16200 DALLAS PARKWAY, SUITE 190
DALLAS
TX
75248
1
1
1
0
Chief Executive Officer
Common Stock
2019-05-13
4
A
0
875500
A
1751000
I
See footnote
Common Stock
2019-05-13
4
A
0
190250
A
380500
I
See footnote
Common Stock
2019-05-13
4
A
0
9750
A
19500
I
By individual retirement account
Series B Preferred Stock
2019-05-14
4
P
0
5000
10
A
5000
D
Received in exchange for 1,751,000 common units of Tectonic Holdings, LLC ("Tectonic Holdings") in connection with the merger of Tectonic Holdings with and into the Issuer, with the Issuer continuing as the surviving company (the "Merger"). At the effective time of the Merger, each common unit of Tectonic Holdings was converted into the right to receive one share of the Issuer's common stock.
Immediately following, and in connection with, the Merger, the Issuer effected a 1-for-2 reverse stock split of the outstanding shares of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 has been adjusted to reflect the Reverse Stock Split.
These shares are held by The Sherman 2018 Irrevocable Trust for which the Reporting Person serves as trustee.
Received in exchange for 380,500 common units of Tectonic Holdings in connection with the Merger.
These shares are held by Sherman Tectonic FLP LP for which the Reporting Person serves as the Chief Executive Officer of the general partner.
Received in exchange for 19,500 common units of Tectonic Holdings in connection with the Merger.
Represents shares purchased through a directed share program in connection with the initial public offering of the Issuer's 9.00% Fixed-to-Floating Rate Series B Non-Cumulative Perpetual Preferred Stock (the "Series B preferred stock"), which closed on May 14, 2019. These shares of Series B preferred stock were purchased at the public offering price of $10.00 per share.
By Ken Bramlage as Attorney-in-Fact for A. Haag Sherman
2019-05-15